Lisa M. Dieter

EMBERHOUSE

Chicago, IL

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CRD#: 4711787

Professional summary

Lisa Michelle Dieter, CFP®, who also goes by Lisa M. Dieter, is a registered financial advisor currently at EMBERHOUSE, LLC located in Chicago, Illinois.

Lisa is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Lisa has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lisa M. Dieter

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Ms. Dieter is a co-owner of two residential rental properties. 2) Spousal Partner; SCH Trading; Investment Related: Yes; Location: 1201 N LaSalle Dr Chicago IL 60610; Description of the business: SCH Trading is a sposual general partnership. Matt trades in stocks and options held in the name of the entity.; Start date with business: 2019-03-13; Percentage of total yearly compensation expected to be derived from the business: 3;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Michelle Dieter's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

February 11, 2017 - Present

EMBERHOUSE, LLC

RIA

CRD#: 285781

Chicago, IL

Past

November 19, 2010 - February 20, 2017

MORGAN STANLEY

RIA

CRD#: 149777

GLENVIEW, IL

Past

November 19, 2010 - February 20, 2017

MORGAN STANLEY

CRD#: 149777

GLENVIEW, IL

Past

April 21, 2008 - November 24, 2010

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111135

HIGHLAND PARK, IL

Past

April 21, 2008 - November 24, 2010

MESIROW FINANCIAL, INC.

CRD#: 2764

HIGHLAND PARK, IL

Past

July 13, 2005 - April 17, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

DEERFIELD, IL

Past

July 6, 2005 - April 17, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

DEERFIELD, IL

Past

October 27, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/11/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/8/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/24/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EMBERHOUSE, LLC

CRD#: 285781 / SEC#:

Illinois

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

Chicago, IL

Mailing Address

Phone number

(312) 586-1106

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 65,900,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Lisa M. Dieter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lisa Michelle Dieter's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

MESIROW FINANCIAL, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/2005

Series 63

Date: 10/25/2003

SIE

Date: 2/20/2017

Series 7

Date: 6/20/2005

Series 6

Date: 10/24/2003

Current Firm

EMBERHOUSE, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EMBERHOUSE, LLC

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